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Swan Global Investments Announces Structured Outcome Strategies for Investors Seeking Improved Predictability in Returns

·3 min read

SOS Shield® Empowers Investors Seeking Equity Market Participation with Reduced Uncertainty and Volatility

Low-Cost Options-Based Strategy Offers High-Degree of Customization to Investors’ Specific Goals and Risk Tolerance

Swan Global Investments ("Swan"), a specialized asset management firm with a 20-year track record at the forefront of hedged equity solutions, today announced its Structured Outcome Strategies, or SOS Shield®. The SOS Shield® series of separately managed accounts ("SMAs") seeks to address the uncertainty and volatility associated with equity investing.

With yields so low, investors are increasingly turning to equities to provide returns to their portfolios. Due to this, demand has been steadily rising for risk-managed strategies that allow investors to place capital in the equity markets while still mitigating downside risk. Unlike traditional products, options-based risk-strategies address the need for growth and risk management – especially as investors continue to face unprecedented uncertainty brought on by the COVID-19 pandemic.

In response to this growing demand, Swan launched its options-based SOS Shield® series in a SMA format to offer personalization and liquidity at a reduced cost. The SOS Shield® series is available at Envestnet and other major custodians and platforms.

"As a trusted leader in options-based strategies and global hedged equity for over two decades, Swan Global Investments has always been committed to helping advisors provide their clients with the investment strategies needed to grow and preserve their wealth," said Randy Swan, Founder and Lead Portfolio Manager of Swan Global Investments. "The introduction of our SOS Shield® series is a continuation of that mission, and directly addresses the need to mitigate losses and reduce volatility so investors can remain on course to achieving their goals despite the unpredictable nature of the markets."

The portfolio seeks to provide a structured range of investment outcomes over a specified time period by combining three components: equity exposure, downside shield and an upside cap. The SOS Shield® offers a distinct blend of S&P 500 price exposure and downside shield combinations, and is available in three variations: Conservative, Moderate and FLEX. Each variation utilizes different options-strategies that offer a tailored approach to the investor’s unique objectives and risk tolerance.

In addition to personalization, Swan’s SOS Shield® series provides the following benefits:

  • Defined downside shield levels

  • Exposure to upside price movement of equity index (S&P 500)

  • Individual start date and defined outcome targets1

  • Potential for higher upside caps than similarly constructed pooled products like ETFs or mutual funds2

  • Substantially lower management fees

  • Flexibility and transparency

  • Resets annually and can be held indefinitely

  • No credit/bank risk

  • Daily liquidity

To learn more about Swan’s SOS Shield® offering, please visit

About Swan Global Investments

Founded in 1997, Swan Global Investments is a leading asset management firm that offers time-tested goals-based investment solutions by prioritizing the pursuit of preserving investors’ irreplaceable capital.

Swan Global Investments is an SEC registered Investment Advisor that specializes in managing money using the proprietary Defined Risk Strategy (DRS). Please note that registration of the Advisor does not imply a certain level of skill or training. All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is no guarantee of future results and there can be no assurance that future performance will be comparable to past performance. This communication is informational only and is not a solicitation or investment advice. Further information may be obtained by contacting the company directly at 970-382-8901 or 485-SGI-113020

1 The structured outcome targeted may only be realized for investors who remain invested throughout their specified outcome period.

2 Upside caps based on several factors including market volatility.

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Ashley Areopagita, Profile Advisors